DE
Dianne L. Eggert
CETERA INVESTMENT ADVISERS LLC
NEOSHO, MO
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CRD#: 2828783
DE
Professional summary
Dianne Lynn Eggert, who also goes by Dianne Lynn Taylor, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Neosho, Missouri and CETERA ADVISORS LLC located in Neosho, Missouri.
Dianne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Dianne has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dianne Lynn Taylor
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: PROSPERITY NETWORK OF ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2019; POSITION/TITLE/RELATIONSHIP: COMPLIANCE ANALYST; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: DIANNE EGGERT- PUBLIC SPEAKER; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: PUBLIC SPEAKING; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: PUBLIC SPEAKER;. APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PUBLIC SPEAKER AT CHURCHES OR FAITH BASED EVENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Dianne Lynn Eggert's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEOSHO, MO
Current
October 8, 2019 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Neosho, MO
Past
January 4, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SYRACUSE, UT
Past
April 8, 2010 - October 1, 2019
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
July 10, 2009 - June 18, 2018
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
Past
March 12, 2009 - September 30, 2016
VOYA RETIREMENT ADVISORS, LLC
BD
CRD#: 3989
WINDSOR, CT
Past
March 12, 2009 - October 1, 2019
SLD AMERICA EQUITIES, INC.
BD
CRD#: 36259
WEST CHESTER, PA
Past
July 3, 2008 - October 1, 2019
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
OVERLAND PARK, KS
Past
January 1, 2004 - June 18, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
OVERLAND PARK, KS
Past
May 12, 2000 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
January 1, 1997 - May 4, 2000
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/8/2019)
RR
Alaska(10/8/2019)
RR
Arizona(10/8/2019)
RR
Arkansas(10/8/2019)
RR
California(10/8/2019)
RR
Colorado(10/8/2019)
RR
Connecticut(10/8/2019)
RR
Delaware(10/8/2019)
RR
District of Columbia(10/8/2019)
RR
Florida(10/8/2019)
RR
Georgia(10/8/2019)
RR
Hawaii(10/8/2019)
RR
Idaho(10/8/2019)
RR
Illinois(10/8/2019)
RR
Indiana(10/8/2019)
RR
Iowa(10/8/2019)
RR
Kansas(10/8/2019)
RR
Kentucky(10/8/2019)
RR
Louisiana(10/8/2019)
RR
Maine(10/8/2019)
RR
Maryland(10/8/2019)
RR
Massachusetts(10/8/2019)
RR
Michigan(10/8/2019)
RR
Minnesota(10/8/2019)
RR
Mississippi(10/8/2019)
RR
Missouri(10/8/2019)
IAR
Missouri(3/21/2024)
RR
Montana(10/8/2019)
RR
Nebraska(10/8/2019)
RR
Nevada(10/8/2019)
RR
New Hampshire(10/8/2019)
RR
New Jersey(10/8/2019)
RR
New Mexico(10/8/2019)
RR
New York(10/8/2019)
RR
North Carolina(10/8/2019)
RR
North Dakota(10/8/2019)
RR
Ohio(10/8/2019)
RR
Oklahoma(10/8/2019)
RR
Oregon(10/8/2019)
RR
Pennsylvania(10/8/2019)
RR
Rhode Island(10/8/2019)
RR
South Carolina(10/8/2019)
RR
South Dakota(10/8/2019)
RR
Tennessee(10/8/2019)
RR
Texas(10/8/2019)
IAR
Texas(3/21/2024)
RR
Utah(10/8/2019)
RR
Vermont(10/8/2019)
RR
Virginia(10/8/2019)
RR
Washington(10/8/2019)
RR
West Virginia(10/8/2019)
RR
Wisconsin(10/8/2019)
RR
Wyoming(10/8/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
